Legal jobs in Banking & Financial Services - Compliance & Legal

We are seeking a detail-oriented Administrative Assistant to support senior staff in Investment & Corporate Banking, handling tasks such as travel coordination, expense reports, and meeting scheduling. The role requires at least three years of experience in the finance industry, proficiency in Microsoft Office and Concur, strong communication skills, and the ability to manage multiple tasks in a fast-paced environment.

This consultant will work on-site in New York City five days a week, collaborating directly with the Chief Compliance Officer (CCO) and the compliance department to ensure the bank adheres to all policies and procedures. Responsibilities include utilizing Actimize for case management processes and assisting with updates to testing scripts as needed.

This is a 6 month contract within the legal and compliance division that is currently 5 days in the office. This contract has the ability to be a long termed engagement. This consultant will be responsible for identifying/reporting any suspicious activity, investigating any documentation needed, preparing SAR's and performing 90 day reviews.

Michael Page is seeking a Transaction Monitoring consultant for a large global bank in Midtown. This 5-day in-office contract position has potential for long-term employment. This consultant will be utilizing Manta to clear retail transnational alerts.

This is an ongoing contract for a large global bank that is seeking an individual with Sanctions Advisory experience. This consultant will be responsible for conducting thorough research and analysis of OFAC and export control regulations, review any correspondence between the identified parties, lead the annual reviews, and assist in the preparation of sanctions compliance training.

For this 6 month contract, the consultant will be responsible for coordinating the full on-boarding from end to end for new clients. The consultant will perform OFAC and negative neews screening, along with complying with all bank policies and procedures.

We are looking for a detail-oriented Salesforce Data Administrator to manage data entry, maintenance, and reporting in Salesforce. The ideal candidate will have administrative experience and a solid understanding of Salesforce data management.

Join the broker-dealer function of one of the largest, fastest growing banks in the US as they expand and better their compliance program rapidly.

Join a highly skilled and collaborative compliance team work through the full gamut of compliance responsibilities, most notably registrations and compliance trainings.

Engage in the full spectrum of core compliance responsibilities as you grow your knowledge and expertise across a continuously expanding space in the investment advisory universe.

Assist in the advisory and overarching core compliance of the firm from a fixed-income perspective.

Join one of the largest international banks as they look to scale and improve their compliance technology systems, data, and organization.

Daily support handling a broad range of tasks including: scheduling meetings, conference rooms and complex a/v requirements, travel booking and expense reports, filing, phone support and other administrative support; assist with analysis and reporting; assist in presentation preparation; perform ad hoc projects as needed

This 5-month contract is currently on a hybrid work schedule (6x a month WFH). This consultant will be responsible for utilizing the client's internal surveillance system to oversee communication between employees and clients.

• Serve as a leader of the Firms corporate governance program
• Become a subject matter expert with respect to corporate policies, procedures, and controls
• Develop, implement, and oversee such policies and procedures
• Oversee the management of all of corporate books, records, and filings
• Maintain intellectual property roster and manage new trademark applications

This 6-month contract is currently on a hybrid work schedule in NYC. This consultant will be assisting with the ISO 20022 message testing and documentation, scoping any changes within their sanction/transaction system, assisting with the FircoSoft lists, and documenting any tuning for senior management.

The Compliance Surveillance Analyst is responsible for monitoring employee and firm trading activities, maintaining brokerage account compliance, and conducting surveillance to ensure adherence to insider trading regulations and information barriers. This role involves analyzing trading data, providing policy guidance, managing compliance inquiries, and supporting regulatory audits and special projects in a fast-paced, collaborative environment.

• This role involves managing scheduling, logistics, travel, and administrative tasks for key office leaders, including coordinating client meetings and handling expense submissions.
• The ideal candidate should have 10-12 years of experience in a professional services environment, possess strong organizational and communication skills, and be adept at managing sensitive information and multiple priorities.

Our client is seeking a experienced AML SAR Writer professional to join their team.

Our client is seeking a experienced Transaction Monitoring Analyst to join their team.

• Review of internal/external referrals received by SII Complex Investigations, which includes conducting historical transaction reviews.
• Review of returned payments with and without sanctions nexus to develop the typology, business requirement, and business case documents to support the continued development and enhancement of an automated tool to identify sanctions risk in returned payments.

This is a 3-month contract that is currently 5 days in the office, but has the potential to be a long term engagement. This consultant will be responsible for determining whether an OFAC alert that is related to a flagged wire transfer is a true match or not. This consultant will also be responsible for investigating any confirmed cases and reviewing sampling cases as well.

Our client is seeking a experienced OFAC Investigations professional to join their team.

Our client is seeking a experienced Sanctions professional to join their team.

Improve the compliance department's risk management and controls through the monitoring and testing of their regulatory compliance frameworks.

Perform screening and investigations of sanctions related alerts and stay up to date on regulatory requirements.

Act as the second in command to the firm's VP of Compliance, dealing with a large variety of regulatory and financial crime responsibilities

Perform investment banking compliance at an entry level.

The Risk Assessment Consultant role involves supporting the Risk Assessment Officer in developing and executing compliance risk assessments across various areas, including BSA/AML, sanctions, and fraud. Key responsibilities include analyzing data, identifying risk factors, coordinating training, and drafting assessment reports while ensuring adherence to regulations and internal controls.

The Compliance Monitoring and Testing Specialist will conduct ongoing monitoring and testing to ensure compliance with regulatory requirements. This role requires a background in audit and risk management, focusing on corporate compliance, and involves developing reports on control deficiencies, tracking remediation objectives, and staying informed on federal and state compliance updates.